Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADRIDGE FINANCIAL SOLUTIONS, INC.BR · Entity 3252 | Director · Executive Chairman | April 01, 2025 | April 03, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BROADRIDGE FINANCIAL SOLUTIONS, INC.
Report date April 01, 2025 · Filed April 03, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 103,489.9949 |
Reported balance
After 2025-04-01 transaction · row 1
1 source rowRow 1 · 2025-04-01 · Tax withholding · Disposed 604 · Balance 103,489.9949 |
| Common StockSEC Table I · non-derivative | Indirect2020 Grandchild Trust | 2,700 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,700 |
| Common StockSEC Table I · non-derivative | Indirectby The EED 2012 Trust | 15,000 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 15,000 |
| Common StockSEC Table I · non-derivative | Indirectby The KLD 2012 Trust | 15,000 |
Reported balance
Holding disclosure · report date 2025-04-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 15,000 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 124,870 | $0.00 Strike: $50.95 | $0.00 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,463 Underlying: Common Stock · 124,870 shares Expires 2025-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 105,188 | $132.97 | $13,986,511.76 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,148.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.14 - $134.73, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 26, 2018 Filed Sep 28, 2018 11:13 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 124,870 | $50.95 | $6,362,126.50 |
DisclosureSEC source: 0001225208-18-013790 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,336.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on June 8, 2018. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 10,000 | $134.11 | $1,341,115.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 9,485 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 10,000 | $134.11 | $1,341,115.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 9,484 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 27,192 | $134.11 | $3,646,759.91 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,466.0229 F1 · kind: The reported transaction is an open market sale pursuant to 10b5-1 plans adopted by the reporting person, The EED 2014 Trust and The KLD 2014 Trust adopted on June 8, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.4800 - $134.6100, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F3 · balance_after: Reflects the distribution of 20,300 shares from indirect ownership under the reporting person's 2016 grantor retained annuity trust ("The RD 2016 GRAT") to direct ownership by the reporting person as an annuity payment in accordance with the terms of the grant instrument. On September 11, 2018, The RD 2016 GRAT distributed 14,039 shares to The 2014 EED Trust and 14,040 to The 2014 KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 28,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The RD 2016 GRAT Disclosed balance after: 0 F6 · ownership.nature: Reflects the distribution of 28,079 shares from The RD 2016 GRAT to The EED 2014 Trust and The KLD 2014 Trust. The RD 2016 GRAT no longer owns any shares of the Registrant's common stock. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 14,040 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 19,485 F5 · ownership.nature: Represents the gift of securities distributed from The RD 2016 GRAT to the KLD 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child. Read SEC document |
| September 11, 2018 Filed Sep 27, 2018 14:41 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GiftCommon Stock | 14,039 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-013772 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 19,484 F4 · ownership.nature: Represents the gift of securities distributed from The RD 2016 GRAT to the EED 2014 Trust, Richard Daly and Deborah Daly, Trustees, a family trust held for the benefit of the reporting person's child. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 12:25 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 45,177 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-012310 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,358.0229 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2019. Read SEC document |
| April 03, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 31,262 | $0.00 Strike: $36.97 | $0.00 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,262 shares Expires 2024-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| April 03, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 26,000 | $107.44 | $2,793,317.80 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,181.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.10 - $107.81, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| April 03, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 31,262 | $36.97 | $1,155,756.14 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,181.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 15:39 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 22,913 | $109.69 | $2,513,326.97 |
DisclosureSEC source: 0001225208-18-007119 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,082.0229 Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 80,374 | $0.00 Strike: $22.27 | $0.00 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,374 shares Expires 2023-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 134,850 | $0.00 Strike: $36.97 | $0.00 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,262 Underlying: Common Stock · 134,850 shares Expires 2024-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 176,387 | $107.41 | $18,945,145.59 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,919.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.17 - $109.46, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 80,374 | $22.27 | $1,789,928.98 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,219.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 15:14 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 134,850 | $36.97 | $4,985,404.50 |
DisclosureSEC source: 0001225208-18-007317 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,845.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on March 2, 2018. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 14:35 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 143,266 | $0.00 Strike: $93.88 | $0.00 |
DisclosureSEC source: 0001225208-18-002839 · doc4.xml · derivative · entry 7 DALY RICHARD J · CIK 0001198860 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,266 Underlying: Common Stock · 143,266 shares Expires 2028-02-12 F2 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 12, 2019. Read SEC document |
| October 11, 2017 Filed Oct 12, 2017 11:58 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 42,822 | $81.94 | $3,508,680.52 |
DisclosureSEC source: 0001225208-17-016221 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,951.0229 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 6, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.72 - $82.19, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| October 10, 2017 Filed Oct 12, 2017 11:58 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 51,217 | $81.95 | $4,197,345.83 |
DisclosureSEC source: 0001225208-17-016221 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,773.0229 F1 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on September 6, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.73 - $82.29, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 02, 2017 Filed Aug 2, 2017 15:51 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantCommon Stock | 46,788 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-013135 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,990.0229 F1 · date: The reported transaction reflects the amount of Restricted Stock Units granted under Broadridge's 2007 Omnibus Award Plan as determined at the end of a two-year performance period and represent a like number of shares of Broadridge common stock. The Restricted Stock Units will vest and convert into shares of Broadridge common stock on April 1, 2018. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 13:46 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Tax withholdingCommon Stock | 22,807 | $67.95 | $1,549,735.65 |
DisclosureSEC source: 0001225208-17-007617 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,202.0229 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 11:25 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | GrantStock Option (Right to Buy) · Derivative | 170,986 | $0.00 Strike: $67.32 | $0.00 |
DisclosureSEC source: 0001225208-17-002903 · doc4.xml · derivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,986 Underlying: Common Stock · 170,986 shares Expires 2027-02-10 F1 · derivative.exercise_date: Stock options vest equally over 4 years beginning February 10, 2018. Read SEC document |
| September 29, 2016 Filed Sep 30, 2016 10:18 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,284 | $0.00 Strike: $22.27 | $0.00 |
DisclosureSEC source: 0001225208-16-039759 · doc4.xml · derivative · entry 8 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,374 Underlying: Common Stock · 7,284 shares Expires 2023-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 29, 2016 Filed Sep 30, 2016 10:18 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 6,095 | $68.13 | $415,270.64 |
DisclosureSEC source: 0001225208-16-039759 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,009.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.99 - $68.51, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 29, 2016 Filed Sep 30, 2016 10:18 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 7,284 | $22.27 | $162,214.68 |
DisclosureSEC source: 0001225208-16-039759 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,104.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 28, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 72,715 | $0.00 Strike: $22.27 | $0.00 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,658 Underlying: Common Stock · 72,715 shares Expires 2023-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 28, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 60,800 | $69.04 | $4,197,632.00 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,820.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.70 - $69.30, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 28, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 72,715 | $22.27 | $1,619,363.05 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,620.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 161,120 | $0.00 Strike: $22.27 | $0.00 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,373 Underlying: Common Stock · 161,120 shares Expires 2023-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,079 | $0.00 Strike: $24.25 | $0.00 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,079 shares Expires 2022-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 140,660 | $69.15 | $9,726,174.82 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,905.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.99 - $69.68, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 7,079 | $24.25 | $171,665.75 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,565.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 11:22 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 161,120 | $22.27 | $3,588,142.40 |
DisclosureSEC source: 0001225208-16-039746 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,486.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 26, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 216,790 | $0.00 Strike: $24.25 | $0.00 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 13 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,079 Underlying: Common Stock · 216,790 shares Expires 2022-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 26, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,260 | $0.00 Strike: $25.67 | $0.00 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,260 shares Expires 2020-02-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 26, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 186,277 | $69.47 | $12,940,272.01 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,366.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.15 - $70.08, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 26, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 4,260 | $25.67 | $109,354.20 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 4 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,643.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 26, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 216,790 | $24.25 | $5,257,157.50 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 3 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,383.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 63,570 | $0.00 Strike: $25.67 | $0.00 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · derivative · entry 11 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,260 Underlying: Common Stock · 63,570 shares Expires 2020-02-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 2,372 | $69.12 | $163,963.08 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 7 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 5,445 F5 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 2,372 | $69.12 | $163,963.08 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 5,445 F5 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.91 - $69.43, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 53,914 | $69.02 | $3,721,349.15 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 2 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,593.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.75 - $69.33, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 14:34 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionCommon Stock | 63,570 | $25.67 | $1,631,841.90 |
DisclosureSEC source: 0001225208-16-039703 · doc4.xml · nonDerivative · entry 1 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,507.0229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 13:07 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | Exercise / conversionStock Option (Right to Buy) · Derivative | 31,630 | $0.00 Strike: $25.67 | $0.00 |
DisclosureSEC source: 0001225208-16-039595 · doc4.xml · derivative · entry 12 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,830 Underlying: Common Stock · 31,630 shares Expires 2020-02-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 13:07 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 12,628 | $69.86 | $882,204.71 |
DisclosureSEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 7 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The KLD 2014 Trust Disclosed balance after: 7,817 F6 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 - $70.04, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 13:07 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 12,628 | $69.86 | $882,204.71 |
DisclosureSEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 6 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by The EED 2014 Trust Disclosed balance after: 7,817 F6 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 22, 2016. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 - $70.04, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 13:07 UTC | BROADRIDGE FINANCIAL SOLUTIONS, INC. BR · Entity 3252 | SaleCommon Stock | 26,787 | $69.86 | $1,871,363.93 |
DisclosureSEC source: 0001225208-16-039595 · doc4.xml · nonDerivative · entry 5 DALY RICHARD J · CIK 0001198860 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,937.0229 F2 · kind: The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person on August 19, 2016. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 - $70.03, inclusive. The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.